Employee Relations Advisory Organizationand the

Representatives' Role

Mary Uical Mike HerbstrittDan Berryman Julie Monday

so os

Employee Relations Advisory Organization

Session Overview:o Review purpose and function of the Employee Relations Advisory

Organization (ERAO)

o To understand the role of the representative in the ERAO

o Review purpose and objective of the Disciplinary Action Process

o To understand the role of the representative in the DisciplinaryAction Process

ion

The ERAO exists to:o Provide for a direct channel of communications between

regular staff non-exempt employees and universityofficials for information and advisory purposes

o Provide university officials with an effective method ofsoliciting and disseminating information concerningplans and programs affecting regular staff non-exemptuniversity employees.

o Policy No: HR0630

ployee Relations Advisory Organization

Please Remember...

We all have a primary role at the university

Employee Relations Advisory Organization

Representative's Role In ERAO

o Attend monthly meetings with university officials

o Voice concerns raised by his/her constituents

o Relay information collected at the monthly meetings tohis/her constituents

o Assist his/her constituents, if requested, during theuniversity's formal Disciplinary Action Process

m

Purpose of Disciplinary Action Process

o Identify unacceptable behavior

o Take steps to correct unacceptablebehavior

o Create a record of the actions taken

on

, Formal Disciplinary Action Steps

o Oral warning

o First written warning

o Final written warning

o Administrative leave with pay & pre-terminationhearing

o Discharge or resignation

Employee Relations Advisory Organization

so Formal Disciplinar

Action Steps

Grievance HearingPanel Named

Results Submitted \y filed with

Human Resources)1

| Written Appeal to Chancellor(copy filed with

Human Resources)

Oral Warningy (kept in department)

Written Warning(filed with Human Resources)

Final Written Warning(filed with Human Resources)

Pre-Terml nation Hearing/Admin Leave with Pay

(filed with Human Resources)

Termination(filed with Human Resources)

\ \N on-Exempt Exempt1

Written Appeal to Chancellor(copy filed with

Human Resources)

Employee Relations Advisory Organization

K> Representative's Role in Disciplinary ActionProcess

o If requested by the employee facing disciplinaryaction, the representative is permitted to attendthe meetings between the supervisor andemployee

o The representative's role is as a "second set ofears," i.e. to ensure the employee understandsthe issues being addressed and understandsthe consequences of the actions

ion

Representative's Role in Disciplinary ActionProcess Continued

o May ask clarifying questions of the manager onbehalf of the employee

o May request a short break if necessary

o May assist with a written rebuttal

ion

Please Remember...

Representatives are NOT to function as a spokespersonor an advocate for the employee.

Also...

If the unit representative is unable to perform his/herrole, HR Employee Relations Department should becontacted. HR will assign another representative to

assist the employee.

ion

Employee Relations600 Henley Street, Suite 230Conference Center BuildingKnoxville, TN 37996-4125(865) 946-8847

o Mike Herbstritt, herbst008utk.edu

o Mary Lucal, mlucal@utk.edu

o Julie Monday, jmonday@utk.edu

Employee Relations Advisory Organization

Human Resources Administration, Knoxville

600 Henley Street, Suite 224

Conference Center BuildingKnoxville, TN 37996-4125(865) 946-8847

o Dan Berryman, dberryma@utk.edu

UNIVERSITY OF TENNESSEE SYSTEM POLICYHUMAN RESOURCES

POLICY NO.: HR0525SUBJECT: DISCIPLINARY ACTIONEFFECTIVE: 07/01/2005REVISION NO: 10

OBJECTIVE:

To provide a fair and objective means to correct the unsatisfactory work performance or work-relatedbehavior, including gross misconduct, of regular staff who have completed any required probationaryperiod. To provide fair and uniform procedures including due process if required by law, to correct,discipline, or terminate employees for unsatisfactory work performance or work-related behavior or forgross misconduct.

POLICY:

Disciplinary action of any kind and for any reason is to be taken with extreme care to assurefairness for all parties involved. Disciplinary action is defined by one of the following actions:corrective action (oral/written); suspension without pay, demotion, and termination. Aswarranted by circumstances, an employee may be terminated at any point in the disciplinaryprocess.

2. If an employee is to be disciplined or discharged, supervisors must contact the human resources(HR) officer or designee prior to discharging any employee to ensure that such action isappropriate and consistent with university policy. The HR officer must determine universitypolicy has been followed before an employee is disciplined or discharged.

Unsatisfactory Work Performance or Work-Related Behavior

3. Description. Unsatisfactory work performance or work-related behavior is the failure or refusalto carry out job responsibilities, failure to follow department or unit rules, or failure to abide bythe University Code of Conduct. Human Resources shall develop a procedure to informemployees of acts or omissions on their part which are symptomatic of unsatisfactory workperformance or work-related behavior and to discipline the employees if either is not correctedin accordance with university policies and procedures.

4. Every reasonable effort should be made to secure acceptable work performance and work-related behavior by employees. When disciplining an employee, supervisors should consider thenature of the unsatisfactory work performance or work-related behavior, the past record of theemployee, and the appropriate penalties. Therefore, as a general rule, disciplinary action takenfor unsatisfactory work performance or work-related behavior should begin with an oral orwritten warning, and may be followed by additional written warnings. Written warnings shouldbe presented to the employee and should describe the unsatisfactory work performance orwork-related behavior and the necessary corrective action to be taken. Should an employee fail

to attain a satisfactory level of work performance or work-related behavior despite such

warning, disciplinary action up to and including termination of employment may be taken.Copies of all written warnings and other disciplinary actions should be placed in the employee'sofficial personnel file in the HR office.

5. Depending upon the nature of the unsatisfactory work performance or work-related behavior,warnings prior to disciplinary action may be inappropriate. When these actions involveemployee error causing or threatening to cause loss of life, serious bodily injury or significantproperty loss, or when continued employment is otherwise not in the best interest of theuniversity, termination without written warning is appropriate.

6. Pre-Termination/Suspension Meeting. Before suspending without pay or discharging anemployee for unsatisfactory work performance or work-related behavior, the supervisor orother authorized university official must 1) consult with the HR office, 2) advise the employee,orally or in writing, of the unsatisfactory work performance or work-related behavior of theemployee, and 3) provide the employee an opportunity to respond.

7. Appeal Process. An employee desiring to appeal a disciplinary action, taken for unsatisfactorywork performance or work-related behavior, must file a written request with the HR officewithin fifteen (15) working days following receipt of notification of the disciplinary action. Oraland written warnings cannot be appealed; however, employees may respond in writing towritten warnings placed in their personnel file.

8. The appeal process for employees disciplined or discharged for unsatisfactory workperformance or work-related behavior is as follows:

a. Staff Non-exempt:

A non-exempt employee may request an administrative review, which shall be in writingthrough the appropriate chancellor or vice president to the president. The written requestshould be submitted to the employee's HR officer.

Alternatively, a non-exempt employee may choose to go through the grievance proceduredescribed in POLICY HR0640, GRIEVANCES. If terminated or suspended without pay, theemployee may choose to go directly to the hearing step and request, at the employee's option,either an informal hearing by a panel of unbiased university employees or a formal hearingunder the Tennessee Uniform Administrative Procedures Act, Tennessee Code Annotatedsections 4-5-301-319 (TUAPA).

b. Staff Exempt:

An exempt employee may request an administrative review, which shall be in writing throughthe appropriate chancellor or vice president to the president. The written request should besubmitted to the employee's HR officer.

Gross Misconduct

9. Description. Gross misconduct includes the following: theft or dishonesty; grossinsubordination, willful destruction of university property; falsification of records; acts of moralturpitude; reporting for duty under the influence of intoxicants; the illegal use, manufacturing,possessing, distributing, purchasing or dispensing of controlled substances or alcohol; disorderlyconduct; provoking a fight; and other similar acts involving intolerable behavior by theemployee. In a case of gross misconduct, immediate disciplinary action up to and includingdischarge may be taken. During the investigation of alleged gross misconduct, an employee maybe placed on administrative leave with pay.

10. An employee suspected of theft of university property may not resign as an alternative todischarge unless the approval of the Senior Vice President and Chief Financial Officer is obtainedin advance.

11. An employee terminated for gross misconduct will not receive payment for accrued unusedannual leave and is not eligible for state Consolidated Omnibus Benefits Rights Act (COBRA)benefits. If an employee resigns in lieu of termination for gross misconduct, the employee willretain rights to annual leave accruals and COBRA benefits.

12. Pre-termination/Suspension Meeting. Before suspending without pay or discharging anemployee for gross misconduct, the supervisor or other authorized university official must: 1)consult with the HR office, 2) advise the employee, orally or in writing, of the charge(s) againstthe employee; and 3) provide the employee an opportunity to respond.

13. Appeal Process. An employee desiring to appeal a disciplinary action for gross misconduct mustfile a written request with the HR office within fifteen (15) working days following receipt ofnotification of the disciplinary action taken.

14. The appeal process for employees disciplined or discharged for gross misconduct is as follows:

a. Staff Non-Exempt. A non-exempt employee may request an administrative review inwriting through the appropriate chancellor or vice president to the president. The reviewprocess will be coordinated by the HR office.

Alternatively, a non-exempt employee may choose to go through the grievance procedure asdescribed in POLICY HR0640, GRIEVANCES. If terminated, demoted, or suspended without payfor gross misconduct, the employee may choose to go directly to the hearing step and request,at the employee's option, either an informal hearing by a panel of unbiased universityemployees or a formal hearing under the TUAPA.

If any employee chooses to receive an informal hearing, a waiver of the employee's right toproceed under the TUAPA must be signed by the employee.

b. Staff Exempt. An exempt employee may request an administrative review in writingthrough the appropriate chancellor or vice president to the president. The review processwill be coordinated by the HR office.

Alternatively, an exempt employee may request an informal hearing before a panel of unbiaseduniversity employees or a formal hearing under the TUAPA.

If any employee chooses to receive an informal hearing, a waiver of the employee's right toproceed under the TUAPA must be signed by the employee.

RELATED POLICIES:

HR0355. LEAVE OF ABSENCE

HR0640. GRIEVANCES

PROCEDURES:

Knoxville: http://hr.utk.edu/pro_disciplinary_action.shtmlHealth Science Center: http://www.uthsc.edu/policies/w932_document_list.php?app=HRSpace Institute:Chattanooga:Martin:

http://personnel.utsi.edu/procedures/index.htmlhttp://www.utc.edu/Administration/HumanResources/Policies/Proc525.pdf

Exempt Staff Representatives' Role in Disciplinary Actions

Disciplinary action is a formal process notifying the employee of deficiencies

in his/her work performance. It is management's responsibility to determine

the duties and responsibilities to assign to an employee, and to identify and

explain to the employee what is and what is not acceptable performance.

During the course of employment, should an employee fail to meet the stated

expectations, it is incumbent upon management to document these

deficiencies and formally inform the employee of the deficiencies, what

he/she needs to do to correct the deficiencies, and the consequences of failure

to improve his/her performance. During this formal disciplinary process, the

employee is permitted to be accompanied by an exempt staff representative.

Under normal circumstances, the corrective disciplinary process begins with

an oral warning. When the supervisor determines this step is necessary,

he/she will notify the employee that a meeting will take place to discuss the

employee's performance. It is up to the supervisor to contact the employee's

exempt staff representative and request the representative's presence at the

meeting, should the employee choose. The same basic procedure will be

followed if the corrective disciplinary process is escalated: the supervisor

notifies the employee of the impending meeting, the supervisor then requests

the representative's presence at the meeting. Should the employee fail to

improve his/her performance and/or fail to correct the stated deficiencies, the

employee will proceed through the process to the eventual conclusion:

termination of employment.

Once the management determines that termination is a viable outcome, the

employee is afforded the opportunity to hear the reasons why the university

believes termination is appropriate. Should the employee elect to attend this

meeting, he/she is permitted to be accompanied by his/her exempt staff

representative. Again, it is the supervisor's responsibility to contact the

employee's representative and request the representative's presence at the

meeting.

The standard practice is for the exempt staff representative for the affected

employee to accompany the employee. It is an unusual and rare occurrence

that would permit a representative not from the unit to participate in the

process. However, if the employee believes the circumstances of this

situation warrant using an outside representative, Human Resources must be

notified of the employee's request and the rationale for the change. After

reviewing the employee's request, Human Resources will determine whether

or not to permit the change of representatives.

In any event, the representative's role in the disciplinary action process

and/or complaint procedure, is to be "a set of ears" to ensure the employee

has a record of and understands the discussion and its ramifications. The

representative may occasionally request clarification of specific points or

recommendations. The representative is not to function as a spokesperson or

advocate for the employee.